Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Cook is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been in the industry since December 1992 and has passed the Series 63, Series 66, Series 7, Series 55, Series 57TO and SIE exams. Thomas is currently registered in 37 states and 2 other jurisdictions as well as with FINRA. Thomas has previously worked with several other firms including Dru Stock, Inc., Bley Investments Group, Inc., Oppenheimer & Co. Inc., and Parallax Direct Execution, Inc. Thomas provides a wide range of financial advisory services, including portfolio management for businesses and individuals, as well as educational seminars, pension consulting, and the selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
05/18/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SHORT HILLS NJ)
NY
02/07/2013 - 07/02/2013
DRU STOCK, INC. (NEW YORK NY)
NJ
02/11/2011 - 05/16/2012
BLEY INVESTMENTS GROUP, INC. (SUMMIT NJ)
NY
08/10/2009 - 12/01/2010
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
09/24/2007 - 01/03/2008
DRU STOCK, INC. (NEW YORK NY)
NY
07/22/2005 - 09/25/2007
PARALLAX DIRECT EXECUTION, INC. (NEW YORK NY)
NY
08/31/2005 - 08/24/2007
LABRANCHE FINANCIAL SERVICES, LLC (NEW YORK NY)
NJ
07/08/2005 - 07/22/2005
DRU STOCK INC (KINNELON NJ)
IL
05/20/1994 - 07/08/2005
ROCK ISLAND SECURITIES, INC. (CHICAGO IL)
FL
10/25/1989 - 06/06/1994
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
BOTH
Issued 04/08/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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